2019-10-18T12:26:11-05:00 2018-12-31 521855942 TATE AND TRYON 2021 L STREET NW SUITE 400 WASHINGTON DC 20036 990 2018-01-01 530183246 ASSOCIATION OF PUBLIC AND LAND-GRANT UNIVERSITIES ASSO 2024786040 1307 NEW YORK AVENUE NO 400 WASHINGTON DC 200054722 EMILY VAN LOON CHIEF FINANCIAL OFFICER 2024786040 2019-10-18 1 SARA SMITH P01332734 2022932200 216.59.105.130 2019-10-18 12:26:08 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 5BC65B47B3A1F1CE2534BD8A8DAEFAC1BF945F16 2018 2019-02-21 02:37:17Z APLU PETER MCPHERSON 1307 NEW YORK AVENUE NO 400 WASHINGTON DC 200054722 20715456 0 X WWW.APLU.ORG X 1887 DC A.P.L.U.'S OVERRIDING MISSION IS TO SUPPORT HIGH-QUALITY PUBLIC HIGHER EDUCATION. 28 28 77 145 0 86495 5868111 7163377 11414978 11570163 419245 -246276 20011 137 17722345 18487401 2413304 3170458 0 0 7847679 8553047 0 0 0 7105588 6963857 17366571 18687362 355774 -199961 18069250 17413219 6055499 5193723 12013751 12219496 X A.P.L.U. IS DEDICATED TO ADVANCING RESEARCH, LEARNING AND ENGAGEMENT. THE ASSOCIATION'S OVERRIDING MISSION IS TO SUPPORT HIGH-QUALITY PUBLIC HIGHER EDUCATION AND ITS MEMBER INSTITUTIONS AS THEY PERFORM THEIR TEACHING, RESEARCH, AND PUBLIC SERVICE ROLES. A.P.L.U. PROVIDES A FORUM FOR THE DISCUSSION AND DEVELOPMENT OF POLICIES AFFECTING HIGHER EDUCATION AND THE PUBLIC INTEREST. 0 0 3374146 218198 3186510 THE COMMISSION ON FOOD, ENVIRONMENT, AND RENEWABLE RESOURCES (CFERR) FOCUSES ON CROSS-CUTTING ISSUES RELATED TO AGRICULTURE, FORESTRY, HUMAN SCIENCES, NATURAL RESOURCES, ECOLOGICAL SCIENCES, OCEANS AND ATMOSPHERE, AND VETERINARY MEDICINE IN THE FUNCTIONAL AREAS OF RESEARCH, EXTENSION, AND ACADEMIC PROGRAMS. THE COMMISSION SEEKS TO FORMULATE AND IMPLEMENT AN INTEGRATED FEDERAL RELATIONS PROGRAM AND FORMULATE CONGRESSIONAL BUDGET RECOMMENDATIONS IN HIGH-PRIORITY AREAS OF NATIONAL CONCERN. 2558347 852289 237281 ACADEMIC AFFAIRS CONDUCTS STUDIES, ISSUES REPORTS, AND MAKES PRESENTATIONS INTENDED TO IMPROVE THE UNDERSTANDING OF THE ACADEMIC UNDERTAKINGS OF OUR MEMBERS. IN RECENT TIMES IT HAS DEVOTED SPECIAL ATTENTION TO UNDERGRADUATE EDUCATION, INCLUDING ACCESS, COST, FINANCIAL AID, QUALITY, TIME TO DEGREE, AND ACCOUNTABILITY. THE STRATEGIC ANALYSIS AND PROJECTS GROUP HAS CARRIED OUT A NUMBER OF PROJECTS RELATED TO PROVIDING GREATER ACCOUNTABILITY AND CAPTURING MORE ACCURATE DATA (E.G., VOLUNTARY SYSTEM OF ACCOUNTABILITY, STUDENT ACHIEVEMENT MEASURE). OTHER PROJECTS HAVE WORKED TO IMPROVE AND EXPAND THE USE OF LEARNING TECHNOLOGIES TO ACHIEVE HIGHER QUALITY LEARNING WHILE CONTAINING COSTS (PERSONALIZED LEARNING CONSORTIUM). 2194477 1113354 1500 OFFICE OF URBAN INITIATIVES - THE OFFICE OF URBAN INITIATIVES' MAJOR FOCUS IS PUBLIC RESEARCH UNIVERSITIES LOCATED IN URBAN CENTERS WHICH PLAY A CRUCIAL ROLE IN ANCHORING THE COMMUNITY, FOSTERING NEIGHBORHOOD AND ECONOMIC DEVELOPMENT OF THEIR CITIES, AND ADVANCING THE HEALTH, EDUCATION, AND WELL-BEING OF CITY RESIDENTS. 1959138 704031 119740 RESEARCH, INNOVATION, AND STEM POLICY: THE OFFICE OF RESEARCH, INNOVATION, AND STEM POLICY'S MAJOR FOCUS IS THE SCIENCE AND MATH TEACHER IMPERATIVE, A LONG-TERM EFFORT TO ADDRESS THE SHORTAGE OF WELL-QUALIFIED SCIENCE AND MATH TEACHERS. 4674334 282586 8025132 ALL OTHER PROGRAMS INCLUDING: INTERNATIONAL PROGRAMS, CONGRESSIONAL AFFAIRS, PUBLIC AFFAIRS, DATA & ANALYTICS, ACCESS & SUCCESS, ECONOMIC DEVELOPMENT, AND INFORMATION TECHNOLOGY 6633472 986617 8144872 14760442 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 113 0 1 77 1 1 1 0 0 0 0 0 0 0 0 0 0 0 X 28 28 0 0 0 0 1 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 NY X THE ASSOCIATION 2024786040 1307 NEW YORK AVENUE NW STE 400 WASHINGTON DC 20005 MICHAEL DRAKE CHAIR 1.00 X X 0 0 0 ROBERT JONES CHAIR-ELECT 1.00 X X 0 0 0 WADED CRUZADO CHAIR, COUNCIL OF PRESIDENTS 1.00 X X 0 0 0 STEVEN LEATH SECRETARY, COUNCIL OF PRESIDENTS 1.00 X X 0 0 0 ROBERT CARET PAST-CHAIR 1.00 X X 0 0 0 HAROLD MARTIN AT-LARGE MEMBER 1.00 X 0 0 0 JOSEPH STEINMETZ AT-LARGE MEMBER 1.00 X 0 0 0 JUDY GENSHAFT AT-LARGE MEMBER 1.00 X 0 0 0 KIRK SCHULZ AT-LARGE MEMBER 1.00 X 0 0 0 RITA CHENG AT-LARGE MEMBER 1.00 X 0 0 0 SAMUEL STANLEY AT-LARGE MEMBER 1.00 X 0 0 0 VISTASP KARBHARI AT-LARGE MEMBER 1.00 X 0 0 0 ORLANDO MCMEANS DIRECTOR 1.00 X 0 0 0 MARK ROSENBERG DIRECTOR 1.00 X 0 0 0 NOELLE COCKETT DIRECTOR 1.00 X 0 0 0 TIM SANDS DIRECTOR 1.00 X 0 0 0 HARRIS PASTIDES DIRECTOR 1.00 X 0 0 0 MARK BECKER DIRECTOR 1.00 X 0 0 0 KENT SMITH JR DIRECTOR 1.00 X 0 0 0 WADED CRUZADO DIRECTOR 1.00 X 0 0 0 MONICA RAO DIRECTOR 1.00 X 0 0 0 JOSEPH GLOVER DIRECTOR 1.00 X 0 0 0 CHAD WOOTTON DIRECTOR 1.00 X 0 0 0 ERIC BARRON DIRECTOR 1.00 X 0 0 0 JOHN LATINI DIRECTOR 1.00 X 0 0 0 SANDRA BROWN DIRECTOR 1.00 X 0 0 0 TERI LUCIE THOMPSON DIRECTOR 1.00 X 0 0 0 JAVAUNE ADAMS-GASTON DIRECTOR 1.00 X 0 0 0 TERESA SULLIVAN PAST-CHAIR (TO 11/18) 1.00 X X 0 0 0 SUSAN HERBST AT-LARGE MEMBER (TO 11/18) 1.00 X 0 0 0 SATISH TRIPATHI AT-LARGE MEMBER (TO 11/18) 1.00 X 0 0 0 APRIL MASON DIRECTOR (TO 11/18) 1.00 X 0 0 0 DAVID HARRIS DIRECTOR (TO 11/18) 1.00 X 0 0 0 ANDREW FURCO DIRECTOR (TO 11/18) 1.00 X 0 0 0 SOPHIA MAGILL DIRECTOR (TO 11/18) 1.00 X 0 0 0 JACK MARTIN DIRECTOR (TO 11/18) 1.00 X 0 0 0 SETHURAMAN PANCHANATHAN DIRECTOR (TO 11/18) 1.00 X 0 0 0 RONALD GREEN DIRECTOR (TO 11/18) 1.00 X 0 0 0 ANGEL CABRERA DIRECTOR (TO 11/18) 1.00 X 0 0 0 EDWARD RAY DIRECTOR (TO 11/18) 1.00 X 0 0 0 M RORY WILSON DIRECTOR (TO 11/18) 1.00 X 0 0 0 MARK HUSSEY DIRECTOR (TO 11/18) 1.00 X 0 0 0 M PETER MCPHERSON PRESIDENT 37.50 X 541015 0 141844 HOWARD GOBSTEIN EXECUTIVE VP 37.50 X 206964 0 40556 EMILY VAN LOON CFO, TREASURER 37.50 X 186109 0 24407 JEAN MIDDLETON VP, CHIEF OF STAFF 37.50 X 149382 0 25814 SHARI GARMISE VP, USU/URBAN INIT. 37.50 X 194684 0 36783 MONTAGUE DEMMENT VP, INTL PROGRAMS 37.50 X 175891 0 46313 IAN MAW VP, FOOD AGRI NATRES 37.50 X 451201 0 30060 ALAN MABE VP, ACAD. AFFAIRS 37.50 X 274164 0 27010 JENNIFER POULAKIDAS VP, CONGRESS. AFFAIRS 37.50 X 208414 0 28684 JEFFREY LIEBERSON VP, PUBLIC AFFAIRS 37.50 X 181581 0 47144 EUGENE L ANDERSON VP, OAS 37.50 X 167026 0 24746 2736431 0 473361 12 0 1 0 CORNERSTONE LLC 800 MAINE AVENUE SW 7TH FLOOR WASHINGTON DC 20024 ADVOCACY SERVICES 806472 KGLOBAL 13800 COPPERMINE ROAD SUITE 307 HERNDON VA 20171 ADVOCACY SERVICES 333996 INTERNATIONAL FOOD POLICY RESEARCH INSTI 1201 I STREET NW WASHINGTON DC 20005 EXPERT STUDY OF GLOBAL HUNGER AND WAYS T 199645 BROADPOINT LLC 7501 WISCONSIN AVE SUITE 720 W BETHESDA MD 20814 DATABASE AND ACCOUNT SOFTWARE SUPPORT 180012 RICHARD KLEMME 142 LARKIN STREET MADISON WI 53705 EXTENSION CONSULTING 130011 5 2925051 4238326 7163377 MEMBERSHIP DUES 900099 9869974 9869974 MEETINGS & SEMINARS 900099 1700189 1700189 11570163 88077 88077 1885404 8298 2228055 0 -342651 8298 -334353 -334353 MISCELLANEOUS 900099 137 137 137 18487401 11570163 0 -246139 X 3148458 3148458 22000 22000 1799013 1423367 375646 5289727 4186543 1103184 570786 447963 122823 458972 362086 96886 434549 358893 75656 62656 25745 36911 69839 69839 2540514 2384439 156075 6612 4699 1913 417866 185914 231952 334589 132240 202349 330533 330533 1166673 1067605 99068 1543844 945654 598190 32031 32031 131849 131849 60305 20 60285 GRANT ADMINISTRATION 117353 117353 SUBSCRIPTIONS & REFEREN 64825 50048 14777 MEMBERSHIP DUES 56971 40965 16006 TRAINING & DEVELOPMENT 26011 10214 15797 1386 -36411 37797 18687362 14760442 3926920 0 659989 571903 7499048 6482803 432964 130477 1246407 249774 114854 5260898 2307130 3067766 2953768 5686293 5711229 342939 332255 18069250 17413219 540259 612189 3636891 2966159 1561705 1315532 316644 299843 6055499 5193723 X 10331879 10538987 181872 180509 1500000 1500000 12013751 12219496 18069250 17413219 X -199961 399589 6117 X X 0 1 X 1 1 1 X 3592203 3292191 5488265 5868111 7163377 25404147 3592203 3292191 5488265 5868111 7163377 25404147 12701726 12702421 59795 45943 60776 69221 88077 323812 47492 752 3124 20011 137 71516 25799475 58656328 0.49240 0.53330 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: INCOME FROM ACTIVITIES THAT ARE NOT REGULARLY CARRIED ON 0 662516 662516 18024846 18687362 1000000 250000 0 0 887233 991451 1000000 1000000 3878684 5818026 652557 597116 702500 662516 2614689 221808 247863 250000 250000 969671 1454507 1681872 22135 23498 1680509 1612140 118024 48292 1681872 1617770 60338 65968 1612140 1650063 28705 60998 1617770 1635986 77677 63600 1650063 0.00000 0.89260 0.10740 0 0 1331256 1331256 3115485 1592630 1522855 60699 47939 12760 753458 666561 86897 2953768 POOLED INVESTMENTS 5711229 F 5711229 DEFERRED COMPENSATION 299843 299843 18893107 399589 6117 405706 18487401 0 18487401 18687362 0 18687362 0 18687362 PART V, LINE 4: THE ASSOCIATION'S ENDOWMENT CONSISTS PRIMARILY OF FUNDS GRANTED BY THE W.K. KELLOGG ASSOCIATION FOR RECOGNIZING AND REWARDING PUBLIC UNIVERSITY FACULTY AND EXTERNAL PARTNERS FOR OUTSTANDING PARTNERSHIPS THAT EMBRACE PUBLIC UNIVERSITY ENGAGEMENT WITH THEIR CONSTITUENTS. THE ENDOWMENT IS DONOR-RESTRICTED TO BE HELD IN PERPETUITY TO GENERATE RETURNS TO PROVIDE FOR TWO ANNUAL SETS OF AWARDS. A SMALL AMOUNT OF ENDOWMENT FUNDS ARE HELD IN TEMPORARILY RESTRICTED FUNDS. PART XI, LINE 2D - OTHER ADJUSTMENTS: GAIN ON INVESTMENT IN ASSOCIATION OF MUTUAL HEALTH INSURANCE COMPANY 6,117. 1 AASCU 1307 NEW YORK AVENUE NW WASHINGTON DC 20005 520747578 501C3 15000 PROGRAM SUPPORT ARIZONA STATE UNIVERSITY 1475 N SCOTTSDALE ROAD SCOTTSDALE AZ 852573538 860196696 115 133000 PROGRAM SUPPORT AUBURN UNIVERSITY 1161 WEST SAMFORD AVENUE AUBURN AL 36849 115 20660 PROGRAM SUPPORT BALL STATE UNIVERSITY TEACHERS COLLEGE 309 MUNCIE IN 47306 356000221 115 22500 PROGRAM SUPPORT CALIFORNIA STATE UNIVERSITY EAST BAY 25800 CARLOS BEE BLVD HAYWARD CA 94542 946128893 115 57114 PROGRAM SUPPORT CALIFORNIA STATE UNIVERSITY FRESNO 4910 N CHESTNUT AVE FRESNO CA 937261852 946003272 115 50000 PROGRAM SUPPORT CALIFORNIA STATE UNIVERSITY FULLERTON 800 N STATE COLLEGE BLVD FULLERTON CA 92831 330632102 115 44866 PROGRAM SUPPORT CARLETON COLLEGE 1 NORTH COLLEGE STREET NORTHFIELD MN 55057 501(C)3 18979 PROGRAM SUPPORT CLEVELAND STATE UNIVERSITY 2121 EUCLID AVE CLEVELAND OH 44115 340966056 115 53100 PROGRAM SUPPORT COLORADO STATE UNIVERSITY 900 OVAL DR FORT COLLINS CO 80523 846000545 115 103000 PROGRAM SUPPORT CORNELL UNIVERSITY 616 THURSTON AVE ITHACA NY 14853 501(C)3 6000 PROGRAM SUPPORT FLORIDA INTERNATIONAL UNIVERSITY 11200 SW 8TH ST MIAMI FL 33199 650177616 115 190000 PROGRAM SUPPORT FLORIDA STATE UNIVERSITY 600 W COLLEGE AVE TALLAHASSEE FL 32306 591961248 115 10000 PROGRAM SUPPORT GEORGE MASON UNIVERSITY 4400 UNIVERSITY DR FAIRFAX VA 22030 540836354 115 50000 PROGRAM SUPPORT GEORGIA STATE UNIVERSITY PO BOX 3965 ATLANTA GA 30302 586002050 115 263000 PROGRAM SUPPORT INDIANA UNIVERSITY 509 E 3RD ST BLOOMINGTON IN 47401 356001633 115 30000 PROGRAM SUPPORT INTERNATIONAL FOOD POLICY RESEARCH INSTITUTE 2033 K STREET NW WASHINGTON DC 20006 521041632 501(C)3 199645 PROGRAM SUPPORT KENNESAW STATE UNIVERSITY 585 COBB AVE KENNESAW GA 30144 580965786 115 30500 PROGRAM SUPPORT KENT STATE UNIVERSITY 800 E SUMMIT ST KENT OH 44240 316402079 115 14937 PROGRAM SUPPORT LOYOLA UNIVERSITY 1032 W SHERIDAN RD CHICAGO IL 60660 361408475 115 47909 PROGRAM SUPPORT MORGAN STATE UNIVERSITY 1700 E COLD SPRING LN BALTIMORE MD 21251 526002033 115 31100 PROGRAM SUPPORT NORTHERN ARIZONA UNIVERSITY S SAN FRANCISCO ST FLAGSTAFF AZ 86011 742579628 115 103000 PROGRAM SUPPORT OHIO STATE UNVIERSITY 1399 CAMPUS DR COLUMBUS OH 43210 316025986 115 38047 PROGRAM SUPPORT OKLAHOMA STATE UNIVERSITY 219 STUDENT UNION STILLWATER OK 74078 731383996 115 7000 PROGRAM SUPPORT OREGON STATE UNIVERSITY 236 KERR ADMINISTRATION BUILDING CORVALLIS OR 97331 936022772 115 103000 PROGRAM SUPPORT PORTLAND STATE UNIVERSITY 1825 SW BROADWAY PORTLAND OR 97201 936001786 115 268534 PROGRAM SUPPORT SOUTH DAKOTA STATE UNIVERSITY CES DIRECTOR NFA 249 BOX 2207 BROOKINGS SD 57007 466000364 115 142608 PROGRAM SUPPORT TEXAS TECH UNIVERSITY 2500 BROADWAY LUBBOCK TX 79409 756002622 115 7500 PROGRAM SUPPORT UNIVERSITY OF CINCINNATI 2600 CLIFTON AVE CINCINNATI OH 45221 316000989 115 50000 PROGRAM SUPPORT UNIVERSITY OF COLORADO BOULDER 3100 MARINE ST RM 479 572 UCB BOULDER CO 80303 846000555 115 33668 PROGRAM SUPPORT UNIVERSITY OF COLORADO DENVER 1201 LARIMER ST DENVER CO 80204 846000555 115 10000 PROGRAM SUPPORT UNIVERSITY OF FLORIDA 201 CRISER HALL GAINSVILLE FL 32611 596002052 115 17500 PROGRAM SUPPORT UNIVERSITY OF ILLINOIS 506 S WRIGHT ST URBANA IL 61801 376000511 115 10000 PROGRAM SUPPORT UNIVERSITY OF LOUISVILLE 2301 S 3RD ST LOUISVILLE KY 40292 611029626 115 103000 PROGRAM SUPPORT UNIVERSITY OF MARYLAND CP 7901 REGENTS DRIVE COLLEGE PARK MD 20742 526002033 115 30935 PROGRAM SUPPORT UNIVERSITY OF MASSACHUSETTS 120 TILLSON FARM ROAD AMHERST MA 01003 542084125 115 174199 PROGRAM SUPPORT UNIVERSITY OF MEMPHIS 3720 ALUMNI AVE MEMPHIS TN 38152 620648618 115 60000 PROGRAM SUPPORT UNIVERSITY OF MISSISSIPPI PO BOX 1848 UNIVERSITY MS 38677 646001159 115 103000 PROGRAM SUPPORT UNIVERSITY OF NORTH CAROLINA CHARLOTTE 9201 UNIVERSITY CITY BLVD CHARLOTTE NC 28223 560791228 115 30000 PROGRAM SUPPORT UNIVERSITY OF OKLAHOMA 660 PARRINGTON OVAL NORMAN OK 73019 731377584 115 75813 PROGRAM SUPPORT UNIVERSITY OF SOUTH ALABAMA 307 N UNIVERSITY BLVD MOBILE AL 36688 630477348 115 54500 PROGRAM SUPPORT UNIVERSITY OF TEXAS SAN ANTONIO 1 UTSA CIRCLE SAN ANTONIO TX 78249 741717115 115 96650 PROGRAM SUPPORT VIRGINIA COMMONWEALTH UNIVERSITY 907 FLOYD AVE RICHMOND VA 23284 546001758 115 34283 PROGRAM SUPPORT VIRGINIA POLYTECHNIC INSTITUTE AND STATE UNIVERSITY 1425 S MAIN STREET BLACKSBURG VA 24061 546001805 115 7500 PROGRAM SUPPORT WAYNE STATE UNIVERSITY 42 W WARREN AVE DETROIT MI 48202 386828429 115 55000 PROGRAM SUPPORT 45 0 APS ITA AWARD 1 500 COOPERATIVE EXTENSION AWARD 6 14000 ESS DIVERSITY/INCLUSION AWARD 1 1000 HBCU SUMMIT HONORARIUM 1 500 LIFETIME ACHIEVEMENT AWARD 1 1000 MTEP SUMMER MEETING HONORARIUM 4 2000 OUTSTANDING ENGAGEMENT AWARD 1 1000 STUDENT EXPERIENCE PROJECT HONORARIUM 1 1000 UNDERGRAD RESEARCH MENTOR AWARD 1 1000 PART I, LINE 2: THE RECIPIENT INSTITUTIONS ARE SELECTED THROUGH A COMPETITIVE GRANT PROCESS. APLU MONITORS SUB-AWARDS ON AN ONGOING BASIS BUT AT A MINIMUM ANNUALLY. ALL INSTITUTIONAL CONTRACTS INCLUDE A REPORTING SCHEDULE (WHEN A NARRATIVE AND BUDGET UPDATE ARE REQUIRED). ADDITIONALLY, ANY TIME AN INSTITUTION NEEDS TO MOVE FUNDS ACROSS LINE ITEMS, THEY ARE REQUIRED TO REQUEST APPROVAL FROM APLU, SPECIFICALLY IF THIS MOVE EXCEEDS 10 PERCENT. X X 1 0 X X X 0 0 0 0 0 0 0 1 0 M PETER MCPHERSON PRESIDENT 453800 0 0 0 87215 0 120500 0 27716 0 689231 0 0 0 HOWARD GOBSTEIN EXECUTIVE VP 200748 0 6000 0 216 0 20852 0 24794 0 252610 0 0 0 EMILY VAN LOON CFO, TREASURER 178826 0 7000 0 283 0 5000 0 22290 0 213399 0 0 0 JEAN MIDDLETON VP, CHIEF OF STAFF 146060 0 2000 0 1322 0 15086 0 15250 0 179718 0 0 0 SHARI GARMISE VP, USU/URBAN INIT. 190172 0 3000 0 1512 0 19623 0 21084 0 235391 0 0 0 MONTAGUE DEMMENT VP, INTL PROGRAMS 174908 0 0 0 983 0 18130 0 34644 0 228665 0 0 0 IAN MAW VP, FOOD AGRI NATRES 427093 0 24000 0 108 0 27500 0 8426 0 487127 0 0 0 ALAN MABE VP, ACAD. AFFAIRS 258986 0 6000 0 9178 0 26010 0 4326 0 304500 0 0 0 JENNIFER POULAKIDAS VP, CONGRESS. AFFAIRS 203010 0 4000 0 1404 0 20676 0 13013 0 242103 0 0 0 JEFFREY LIEBERSON VP, PUBLIC AFFAIRS 176069 0 4000 0 1512 0 19000 0 33222 0 233803 0 0 0 EUGENE L ANDERSON VP, OAS 162538 0 3000 0 1488 0 17100 0 12364 0 196490 0 0 0 PART I, LINE 1A PER THE EMPLOYMENT AGREEMENT OF PETER MCPHERSON, A HOUSING ALLOWANCE OF $5,000 A MONTH IS PROVIDED TO HELP COVER HOUSING COSTS EXPENDED TO LIVE IN THE WASHINGTON, DC METROPOLITAN AREA. SOCIAL CLUB DUES REQUIRE AN INVOICE. PART I, LINE 1B REIMBURSEMENT AND PROVISION OF THE EXPENSES LISTED IN SCHEDULE J, PART 1, LINE 1A IS DETERMINED BY THE BOARD OF DIRECTORS' COMPENSATION COMMITTEE AS A PART OF THEIR DELIBERATIONS ON AN OVERALL PACKAGE FOR THE ASSOCIATION'S PRESIDENT. AS SUCH, NO FORMAL POLICY EXISTS THAT MANDATES WHICH, IF ANY, OF THESE EXPENSES ARE REQUIRED TO BE INCLUDED. THE COMMITTEE DOES CONSIDER THE COMPENSATION PACKAGES PROVIDED TO THE OTHER ASSOCIATIONS THAT COMPRISE THE "SIX," A GROUPING OF THE SIX MOST SIGNIFICANT ASSOCIATIONS FOR HIGHER EDUCATION OF WHICH APLU IS ONE. PART I, LINE 7 BONUSES ARE PROVIDED TO CERTAIN EMPLOYEES, AND ARE MERIT BASED TO RECOGNIZE STELLAR PERFORMANCE. THE BONUSES ARE DETERMINED USING THE FEEDBACK OF THE SUPERVISOR. FOR MANAGEMENT POSITIONS, THE BONUS IS DETERMINED BY THE PRESIDENT USING PERFORMANCE REVIEWS, PORTFOLIO, AND SCOPE OF ACCOUNTABILITY AS METRICS. FORM 990, PART VI, SECTION A, LINE 1 THERE SHALL BE AN EXECUTIVE COMMITTEE OF THE BOARD OF DIRECTORS OF THE ASSOCIATION. THE EXECUTIVE COMMITTEE WILL MEET FROM TIME TO TIME TO PROVIDE ADVICE TO THE PRESIDENT OF THE ASSOCIATION BETWEEN BOARD MEETINGS OF THE ASSOCIATION, ACT ON BEHALF OF THE BOARD AS REQUIRED BETWEEN FULL BOARD MEETINGS, PROVIDE OVERSIGHT AS APPROPRIATE TO THE PRESIDENT, AND PROVIDE LEADERSHIP TO THE PERIODIC REVIEWS OF THE PRESIDENT. FORM 990, PART VI, SECTION A, LINE 6 THE ASSOCIATION SHALL HAVE ONE CLASS OF MEMBERS, UNLESS OTHERWISE DETERMINED BY THE BOARD OF DIRECTORS. MEMBERS SHALL NOT HAVE THE RIGHT TO VOTE, EXCEPT AS PART OF THEIR MEMBERSHIP ON ASSOCIATION BOARDS, COMMISSIONS, COMMITTEES AND COUNCILS DESCRIBED BELOW. ALL MEMBERS OF THE ASSOCIATION SHALL CONSIST OF INSTITUTIONS OF HIGHER EDUCATION, EACH OF WHICH QUALIFIES UNDER SECTION 115(A) OF THE INTERNAL REVENUE CODE OF 1986, OR IS EXEMPT FROM FEDERAL INCOME TAXATION UNDER SECTION 501(A) OF SUCH CODES AS AN ORGANIZATION DESCRIBED IN SECTION 501(C)(3) OF SUCH CODE, AND IS AN ORGANIZATION DESCRIBED IN SECTION 509(A)(1), (2), OR (3) OF SUCH CODES (OR THE CORRESPONDING PROVISIONS OF ANY FUTURE UNITED STATES INTERNAL REVENUE LAW), AND WHICH MEET THE FOLLOWING ADDITIONAL CRITERIA: INSTITUTIONAL MEMBERS: UNITED STATES AND ITS TERRITORIES 1. AUTOMATIC MEMBERSHIP ACCREDITED UNIVERSITIES THAT MEET AT LEAST ONE OF THE FOLLOWING THREE CRITERIA ARE QUALIFIED FOR A.P.L.U. MEMBERSHIP WITHOUT FORMAL ACTION BY THE BOARD OF DIRECTORS (A) INSTITUTION IS A LAND GRANT INSTITUTION (1862, 1890, 1994) (B) A PUBLIC INSTITUTION CLASSIFIED BY THE MOST RECENT EDITION OF THE CARNEGIE CLASSIFICATION OF INSTRUCTIONAL PROGRAMS IN ONE OF THE TWO BASIC CLASSIFICATIONS FOR DOCTORAL UNIVERSITIES THAT REPRESENT THE TWO HIGHEST LEVELS OF RESEARCH ACTIVITY (C) INSTITUTION IS A CURRENT A.P.L.U. MEMBER IN GOOD STANDING. 2. DISCRETIONARY MEMBERSHIP ACCREDITED PUBLIC INSTITUTIONS THAT DO NOT QUALIFY FOR AUTOMATIC MEMBERSHIP AS OUTLINED ABOVE MAY QUALIFY FOR MEMBERSHIP UNDER THE DISCRETIONARY MEMBERSHIP CRITERIA. INSTITUTIONS THAT SATISFY THE THRESHOLDS FOR THE FOUR DISCRETIONARY CRITERIA IN THIS SECTION MAY BE CONSIDERED FOR MEMBERSHIP AND MUST BE APPROVED BY THE BOARD OF DIRECTORS. THE BOARD OF DIRECTORS MAINTAINS THE RIGHT TO ADMIT A UNIVERSITY THAT DOES NOT MEET THE THRESHOLDS FOR THE DISCRETIONARY CRITERIA IN ORDER TO SUSTAIN AND ADVANCE MEMBERSHIP OF PUBLIC RESEARCH AND LAND-GRANT UNIVERSITIES. (A) RESEARCH ACTIVITY: TO SATISFY THE RESEARCH ACTIVITY CRITERION, INSTITUTIONS MUST EXCEED EITHER THE THRESHOLD FOR TOTAL RESEARCH EXPENDITURES OR THE THRESHOLD FOR RESEARCH INTENSITY. I. TOTAL RESEARCH EXPENDITURES GREATER THAN $35 MILLION IN TOTAL R&D EXPENDITURES RESEARCH INTENSITY II. RESEARCH INTENSITY GREATER THAN $25 THOUSAND IN TOTAL R&D EXPENDITURES PER FACULTY FTE (B) BREADTH OF DOCTORAL PROGRAMS AND RESEARCH FOCUS: TO SATISFY THE CRITERIA, AN INSTITUTION MUST BE INCLUDED WITHIN THE SELECTED CARNEGIE BASIC CLASSIFICATIONS AND GRADUATE INSTRUCTIONAL PROGRAM CLASSIFICATIONS SPECIFIED BELOW. THE SELECTED CLASSIFICATIONS REPRESENT AN INSTITUTION WITH SIGNIFICANT RESEARCH FOCUS AND A RANGE OF DOCTORAL PROGRAMS. I. BASIC CARNEGIE CLASSIFICATIONS --RESEARCH/DOCTORAL INSTITUTIONS --SPECIAL FOCUS INSTITUTIONS WITHIN THE FOLLOWING SUB-CATEGORIES: --MEDICAL SCHOOLS & CENTERS --OTHER HEALTH PROFESSIONS SCHOOLS --ENGINEERING SCHOOLS --OTHER TECHNOLOGY-RELATED SCHOOLS --BUSINESS & MANAGEMENT SCHOOLS II. GRADUATE INSTRUCTIONAL PROGRAM CLASSIFICATIONS --RESEARCH DOCTORAL: COMPREHENSIVE PROGRAMS, WITH MEDICAL/VETERINARY SCHOOL --RESEARCH DOCTORAL: COMPREHENSIVE PROGRAMS, NO MEDICAL/VETERINARY SCHOOL --RESEARCH DOCTORAL: HUMANITIES/SOCIAL SCIENCES-DOMINANT --RESEARCH DOCTORAL: STEM-DOMINANT --RESEARCH DOCTORAL: PROFESSIONAL-DOMINANT (C) STUDENT ENROLLMENT (IPEDS UNDUPLICATED STUDENT HEADCOUNT, 3 YEAR AVERAGE, ALL LEVELS) TO SATISFY THE STUDENT ENROLLMENT CRITERION, INSTITUTIONS MUST HAVE AN AVERAGE ANNUAL, UNDUPLICATED STUDENT HEADCOUNT OF 10,000 STUDENTS. (D) COMMUNITY ENGAGEMENT TO MEET THE COMMUNITY ENGAGEMENT CRITERION, INSTITUTIONS MUST DEMONSTRATE A SUBSTANTIAL AND SUSTAINED ENGAGEMENT AS OUTLINED BY THE 2000 KELLOGG COMMISSION REPORT RETURNING TO OUR ROOTS. INSTITUTION MEMBERSHIP: CANADA AND MEXICO APPLICATIONS BY UNIVERSITIES WITHIN CANADA AND MEXICO WILL BE REVIEWED ON AN INDIVIDUAL BASIS BY THE BOARD OF DIRECTORS CONSIDERING COMPARABILITY WITH THE CRITERIA FOR U.S. INSTITUTIONS OUTLINED IN SECTION B WITHIN THEIR NATIONAL CONTEXTS. SYSTEM MEMBERSHIP: UNITED STATES AND ITS TERRITORIES STATE UNIVERSITY SYSTEMS WITHIN THE U.S. OR ITS TERRITORIES WITH ONE OR MORE OF THEIR INSTITUTION MEMBERS IN GOOD STANDING AS A MEMBER OF APLU AUTOMATICALLY ARE ELIGIBLE FOR MEMBERSHIP IN APLU AS SYSTEM MEMBERS. APLU SYSTEM MEMBERSHIP ALLOWS SYSTEM STAFF TO PARTICIPATE IN APPROPRIATE APLU ACTIVITIES. SYSTEM MEMBERSHIP DOES NOT CONVEY APLU MEMBERSHIP TO EACH INSTITUTION MEMBER WITHIN THE SYSTEM. INSTITUTIONS THAT ARE PART OF A SYSTEM MUST MEET THE INDIVIDUAL INSTITUTION CRITERIA FOR APLU MEMBERSHIP. ORGANIZATION AFFILIATE MEMBERSHIP: CANADA, MEXICO, AND THE UNITED STATES AND ITS TERRITORIES TAX EXEMPT ORGANIZATION WITH SUBSTANTIAL RESPONSIBILITY IN LEARNING, DISCOVERY, AND ENGAGEMENT MAY BE CONSIDERED FOR MEMBERSHIP IN APLU AS ORGANIZATIONS WITH PARTICIPATION IN SELECTED APLU COUNCILS AND COMMISSIONS. THESE APPLICATIONS WILL BE REVIEWED INDIVIDUALLY BY THE BOARD OF DIRECTORS WITH THE MEMBERSHIP AND PARTICIPATION DECISIONS BASED ON THE BOARD'S JUDGMENT OF THE EXTENT TO WHICH THE ORGANIZATION HAS SUBSTANTIAL, CONSTRUCTIVE IMPACT NATIONALLY AND INTERNATIONALLY ON LEARNING, DISCOVERY, AND ENGAGEMENT AT APLU MEMBER UNIVERSITIES AND SYSTEMS. FORM 990, PART VI, SECTION B, LINE 11B BOTH THE FORM 990 AND AUDITED FINANCIAL STATEMENTS ARE DISTRIBUTED ELECTRONICALLY TO THE APLU AUDIT COMMITTEE MEMBERSHIP FOR REVIEW AND APPROVAL. DURING THE DISTRIBUTION PROCESS, THE BOARD OF DIRECTORS ARE COPIED ON THE CORRESPONDENCE. AS REQUIRED, CONFERENCE CALLS ARE MADE WITH THE AUDIT COMMITTEE TO DISCUSS ANY QUESTIONS ON THE FORM 990. FORM 990, PART VI, SECTION B, LINE 12C THE CHIEF FINANCIAL OFFICER IS THE PRIMARY OFFICER RESPONSIBLE FOR MONITORING FOR POTENTIAL CONFLICT OF INTEREST TRANSACTIONS. MONITORING INCLUDES RELIANCE ON APLU EMPLOYEES FOR REPORTING MATTERS OF CONCERN. ALL APLU STAFF, REGARDLESS OF POSITION, ARE COVERED UNDER THE POLICY. IN THE CASE OF THE PRESIDENT, IF SATISFACTORY CONCLUSION CANNOT BE REACHED BY THE CFO, THEN THE CFO IS EMPOWERED TO REFER THE MATTER TO THE CHAIR OF THE BOARD OF DIRECTORS. IN ALL OTHER CASES, THE PRESIDENT IS THE ULTIMATE AUTHORITY FOR DETERMINING DISCIPLINARY AND CORRECTIVE ACTIONS FOR CONFLICT OF INTERESTS NOT RESOLVED BY THE CFO. FORM 990, PART VI, SECTION B, LINE 15A THE APLU BOARD OF DIRECTORS SETS THE CEO COMPENSATION DURING ITS NOVEMBER MEETING. PRIOR TO THE MEETING, COMPARABILITY DATA IS PROVIDED TO THEM BY THE APLU CHIEF FINANCIAL OFFICER. THE COMPARABILITY DATA IS AT THE DETAIL LEVEL AND ENCOMPASSES THE COMPENSATION PROVIDED TO THE CEOS OF THE SIX LEADING ASSOCIATIONS FOR HIGHER EDUCATION. ALSO MADE AVAILABLE ARE THE RESULTS FROM VARIOUS SURVEYS ON CEO SALARIES SUCH AS WASHINGTON AREA EXECUTIVE SECRETARIAT AND THE HUMAN RESOURCE ASSOCIATION OF THE NATIONAL CAPITAL AREA'S ANNUAL "COMPENSATION SURVEY REPORT." FORM 990, PART VI, SECTION C, LINE 19 THE GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART IX, LINE 11G TEMPORARY HELP: PROGRAM SERVICE EXPENSES 36,139. MANAGEMENT AND GENERAL EXPENSES 7,119. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 43,258. CONSULTANTS: PROGRAM SERVICE EXPENSES 2,348,300. MANAGEMENT AND GENERAL EXPENSES 148,956. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,497,256. FORM 990, PART XI, LINE 9: GAIN ON INVESTMENT IN ASSOCIATION OF MUTUAL HEALTH INSURANCE COMPANY 6,117. FORM 990, PART XII, LINE 2C THE AUDIT OVERSIGHT PROCESS HAS REMAINED UNCHANGED FROM THE PREVIOUS YEAR.